Peter Smith

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2016 → 11/2016
  Wells Fargo Advisors, Llc
  Chicago, IL
• 04/2016 → 11/2020
  Wells Fargo Clearing Services, Llc
  Chicago, IL
• 11/2020 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 12/2020 → Present
  Bank Of America, N.A.
  Chicago, IL

Previous Registrations

• 2016-04-01 → 2020-11-24
  Wells Fargo Clearing Services, Llc
  Chicago, IL
• 2013-06-17 → 2016-04-19
  Credit Suisse Securities (Usa) Llc
  Chicago, IL

Other Businesses

I*135020 For-Profit Name: International Agricultural Enterprises LLC Investment: No Address: Miami, FL Nature: LLC Position: Officer Start date: 2/1/2020 hours: 0 hours during trading hours: 0 Duties: Miami-based shell company seeking to receive funds from USA investors and invest them in an alcohol-processing company in the Dominican Republic. I have no responsibilities/tasks. I*1276301For profit or not for profit: Entity CharitableName of outside business organization: CPS Lives NFPInvestment related: NoAddress of business: Chicago, Illinois, 60610Position, title, association: Board Member Start date of relationship: 5/5/2023Number of hours devoted: 2 hours MonthlyNumber of hours devoted during trading hours: 2 hrsDuties: Have been asked to join Board of Directors, where I will help advise on strategic direction, fundraising, and event planning/attendance. CPS Lives is a 501(c)3 non-profit residency that pairs Chicago artists, designers, thinkers, and makers with public schools. The goal is to celebrate the strengths of public schools by telling their stories.I*: 2562279Entity Type: Fiduciary roleName of OBA: Estate of M. D. S.Address: Hobe Sound, FL 33455Investment Related: NoPosition, Title, Association: Executor Employee Start Date: 6/17/2025Number of Hours: 1 hr wklyNumber of Hours during trading: 0 Duties: Executor for Child/Grandchild, SiblingsI*: 2562280Entity Type: Fiduciary roleName of OBA: M. D. S. 2020 Family TrustAddress: Hobe Sound, FL 33455Investment Related: NoPosition, Title, Association: Co-Trustee Employee Start Date: 6/17/2025Number of Hours: 1 hr wklyNumber of Hours during trading: 0Duties: Co-Trustee for Child/Grandchild, SiblingsI*: 2561305Entity Type: Fiduciary roleName of OBA: M. D. S. Declaration of TrustAddress: Hobe Sound, FL 33455Investment Related: NoPosition, Title, Association: Successor Trustee Employee Start Date: 6/17/2025Number of Hours: 1 hr wklyNumber of Hours during trading: 0 Duties: Successor Trustee for Child/Grandchild, SiblingsI*3356267Entity Type: N/AName of OBA: MLPF& S CUST FBO R C S DECD IRA FBO L S TAddress: Wilmette, Illinois, 60091Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 12/22/2025Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: SpouseI*3357266Entity Type: N/AName of OBA: L S TAddress: Wilmette, Illinois, 60091Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 12/22/2025Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: SpouseI*3357265Entity Type: N/AName of OBA: MLPF& S CUST FPO L S T IRA FBO L S TAddress: Wilmette, Illinois, 60091Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 12/22/2025Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: SpouseI*3470300, Entity Type: , Name of OBA: P S TTEE E B S III TTEE U/A DTD 12/28/2020 , Address: Wilmette, Illinois, 60091, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 01/14/2026, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties:I*3833275Type: N/AName: MD S Education Trust FBO Grandchildren of P B. SAddress: Wilmette, ILInvestment: NoPosition: TrusteeStart Date: 02/24/2026Hours: 1, MonthlyHours during trading: 1, MonthlyDuties: Self, Child/GrandchildI*3840266Type: N/AName: B S TTEE U/A DTD 03/19/2019 BY M D SAddress: Wilmette, ILInvestment: NoPosition: TrusteeStart Date: 02/25/2026Hours: 1, WeeklyHours during trading: 1, WeeklyDuties: Self, Parents I*3937265 Type: N/A Name: P B STTEE E B S III TTEE U/A DTD 12/28/2020 Address: Wilmette, IL Investment: No Position: Co-Trustee Start Date: 03/04/2026 Hours: 1, Monthly Hours during trading: 0, Monthly Duties: Self, Parents, Siblings

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-03-14
• S63 Uniform Securities Agent State Law Examination
  2011-08-22

Other Names

• Peter Smith
• Peter Byron Smith